Hedge Fund Database

KOWAL INVESTMENT GROUP, LLC

Adviser information for KOWAL INVESTMENT GROUP, LLC last updated from Form ADV on March 6th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Wisconsin, United States

Employees

Total Number of Employees 22
Investment Advisory/Research 11
Registered Broker-Dealer Representatives 12
Registered State Investment Advisers 11
Licensed Agents of an Insurance Company 9
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 4,527 $1.1B
Non-Discretionary 0 $0
Total 4,527 $1.1B

Clients

Type Number RAUM
Individuals 936 $332.1M
HNW Individuals 412 $776.0M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations <5 $532,757
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 750

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting services
Compensation % of AUMFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 1.1B
Portfolio Manager to Program Sponsor
KOWAL WRAP FEE PROGRAM KOWAL INVESTMENT GROUP, LLC

Identifiers

SEC RIA File Number 801-119756
SEC ERA File Number 801-119756
SEC CIK Numbers 1846786
SEC CRD Numbers 113169
Legal Entity Identifier None

Principal Office

17775 WEST BLUEMOUND ROAD
BROOKFIELD
WI
United States
Monday - Friday, 8:00AM - 4:30PM
Tel: (262) 522-4040, Fax: 262-522-3787

Websites

www.kowalinvestmentgroup.com www.facebook.com/profile.php?id=61550785066673 twitter.com/kowal_invest www.linkedin.com/company/kowal-investment-group thekowalway.com www.youtube.com/channel/uc8id993o_4g9kro9fzvbe6a.

Chief Compliance Officer

AARON T. KOWAL
PRESIDENT, CHIEF COMPLIANCE OFFICER
17775 WEST BLUEMOUND ROAD
BROOKFIELD
WI
United States
Tel: (262) 522-4040
Fax: 262-522-3787
(Full email address available in API data)

Regulatory Contact

THOMAS KRUEGER
VICE PRESIDENT OF OPERATIONS
W238 N1660 BUSSE RD
SUITE 100
WAUKESHA
WI
United States
Tel: (262) 522-4040
Fax: 262-522-3787
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
KOWAL, JEFFREY, DAVIS Individual – FOUNDER / SENIOR FINANCIAL ADVISOR 02/2007 > 75%
KOWAL, AARON, TIMOTHY Individual – PRESIDENT, CHIEF COMPLIANCE OFFICER 09/2020 10-25%

No. Employees, Historic

3015020202021202220232024202519 on 10/8/202019 on 11/9/202019 on 11/17/202019 on 12/15/202023 on 3/30/202123 on 4/27/202126 on 5/19/202126 on 9/13/202126 on 9/13/202126 on 3/9/202226 on 3/31/202226 on 5/24/202226 on 7/19/202226 on 9/13/202226 on 11/29/202226 on 3/23/202326 on 3/23/202326 on 9/1/202326 on 9/1/202326 on 12/21/202322 on 3/6/2024

RAUM, Historic

2B1B0202020212022202320242025207000000 on 10/8/2020207000000 on 11/9/2020207000000 on 11/17/2020207000000 on 12/15/2020929397759 on 3/30/2021929397759 on 4/27/2021929397759 on 5/19/2021929397759 on 9/13/2021929397759 on 9/13/2021960973412 on 3/9/2022960973412 on 3/31/2022960973412 on 5/24/2022960973412 on 7/19/2022960973412 on 9/13/2022960973412 on 11/29/2022934770570 on 3/23/2023934770570 on 3/23/2023934770570 on 9/1/2023934770570 on 9/1/2023934770570 on 12/21/20231108665418 on 3/6/2024

No. Clients, Historic

2,0001,000020202021202220232024202550 on 10/8/202050 on 11/9/202050 on 11/17/202050 on 12/15/20201044 on 3/30/20211044 on 4/27/20211044 on 5/19/20211044 on 9/13/20211044 on 9/13/20211088 on 3/9/20221088 on 3/31/20221088 on 5/24/20221088 on 7/19/20221088 on 9/13/20221088 on 11/29/20221182 on 3/23/20231182 on 3/23/20231182 on 9/1/20231182 on 9/1/20231182 on 12/21/20231348 on 3/6/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
MESA AIR GROUP INC COM NEW 30K 18K –
BANCO SANTANDER S.A. ADR 92K 20K –
HUNTINGTON BANCSHARES INC COM 139K 11K –
CION INVT CORP COM 169K 14K –
TRAVELERS COMPANIES INC COM 201K 989 –
MSA SAFETY INC COM 204K 1K –
SERVICENOW INC COM 205K 261 –
ASSOCIATED BANC CORP COM 208K 10K –
VANGUARD WORLD FD INF TECH ETF 212K 367 –
EMCOR GROUP INC COM 214K 587 –
T ROWE PRICE ETF INC PRICE EQT INCOME 214K 5K –
SALESFORCE INC COM 215K 836 –
ISHARES TR GRWT ALLOCAT ETF 217K 4K –
VANGUARD WORLD FD MEGA CAP VAL ETF 218K 2K –
CONSTELLATION ENERGY CORP COM 223K 1K –
JOHNSON CTLS INTL PLC SHS 224K 3K –
CSX CORP COM 226K 7K –
AMERICAN ELEC PWR CO INC COM 231K 3K –
STRYKER CORPORATION COM 236K 693 –
AMERICAN AXLE & MFG HLDGS IN COM 236K 34K –
MOODYS CORP COM 242K 574 –
FIRST TR EXCHANGE-TRADED ALP MID CP GR ALPH 245K 3K –
INTUIT COM 248K 377 –
DEERE & CO COM 248K 665 –
T-MOBILE US INC COM 253K 1K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 253K 5K –
FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 262K 5K –
FIRST TR MULTI CP VAL ALPHA SHS ISSUED FRST 267K 3K –
ROCKWELL AUTOMATION INC COM 267K 971 –
SPDR SER TR S&P DIVID ETF 267K 2K –
TRANE TECHNOLOGIES PLC SHS 267K 813 –
SPDR GOLD TR GOLD SHS 271K 1K –
COPART INC COM 274K 5K –
MCKESSON CORP COM 277K 474 –
BADGER METER INC COM 278K 1K –
ECOLAB INC COM 280K 1K –
HARTFORD FINL SVCS GROUP INC COM 286K 3K –
GALLAGHER ARTHUR J & CO COM 291K 1K –
HCA HEALTHCARE INC COM 292K 908 –
MASTERCARD INCORPORATED CL A 294K 666 –
ISHARES TR S&P MC 400GR ETF 298K 3K –
INTUITIVE SURGICAL INC COM NEW 299K 673 –
GILEAD SCIENCES INC COM 301K 4K –
FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 304K 14K –
BOEING CO COM 307K 2K –
OLD REP INTL CORP COM 309K 10K –
GE VERNOVA INC COM 321K 2K –
ISHARES TR RUS 1000 VAL ETF 324K 2K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 324K 7K –
AMERICAN EXPRESS CO COM 328K 1K –
TJX COS INC NEW COM 331K 3K –
WP CAREY INC COM 334K 6K –
KINDER MORGAN INC DEL COM 338K 17K –
SCHWAB STRATEGIC TR FUNDAMENTAL US L 341K 5K –
ILLINOIS TOOL WKS INC COM 344K 1K –
SKYWORKS SOLUTIONS INC COM 369K 3K –
CROWN CASTLE INC COM 369K 4K –
INTERNATIONAL BUSINESS MACHS COM 370K 2K –
3M CO COM 371K 4K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 382K 7K –
COMCAST CORP NEW CL A 385K 10K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 395K 3K –
SYNOPSYS INC COM 400K 673 –
VANGUARD INDEX FDS S&P 500 ETF SHS 401K 801 –
REPUBLIC SVCS INC COM 401K 2K –
PNC FINL SVCS GROUP INC COM 411K 3K –
SELECT SECTOR SPDR TR ENERGY 411K 5K –
SPOTIFY TECHNOLOGY S A SHS 415K 1K –
FIRST TRUST LRGCP GWT ALPHAD COM SHS 425K 3K –
CROWDSTRIKE HLDGS INC CL A 436K 1K –
PUBLIC SVC ENTERPRISE GRP IN COM 441K 6K –
ISHARES TR RUS MID CAP ETF 472K 6K –
ARISTA NETWORKS INC COM 481K 1K –
INVESCO ACTVELY MNGD ETC FD OPTIMUM YIELD 481K 34K –
ISHARES TR RUS 2000 GRW ETF 493K 2K –
SELECT SECTOR SPDR TR TECHNOLOGY 493K 2K –
VANGUARD INDEX FDS TOTAL STK MKT 517K 2K –
DOW INC COM 519K 10K –
E2OPEN PARENT HOLDINGS INC COM CL A 521K 116K –
PFIZER INC COM 527K 19K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 534K 3K –
COLGATE PALMOLIVE CO COM 538K 6K –
BANK NEW YORK MELLON CORP COM 540K 9K –
KIMBERLY-CLARK CORP COM 563K 4K –
LOCKHEED MARTIN CORP COM 573K 1K –
BLACKROCK INC COM 577K 733 –
CADENCE DESIGN SYSTEM INC COM 585K 2K –
UNITEDHEALTH GROUP INC COM 596K 1K –
NETFLIX INC COM 599K 888 –
BANK AMERICA CORP COM 610K 15K –
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 613K 6K –
ISHARES TR U.S. TECH ETF 615K 4K –
ORACLE CORP COM 617K 4K –
FIDELITY COVINGTON TRUST LOW VOLITY ETF 685K 12K –
SOUTHERN CO COM 710K 9K –
INVESCO QQQ TR UNIT SER 1 726K 2K –
VERIZON COMMUNICATIONS INC COM 741K 18K –
FIRST TR MID CAP CORE ALPHAD COM SHS 749K 7K –
CONOCOPHILLIPS COM 770K 7K –
TESLA INC COM 806K 4K –
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 829K 19K –
PRUDENTIAL FINL INC COM 832K 7K –
PARKER-HANNIFIN CORP COM 837K 2K –
FISERV INC COM 867K 6K –
GENERAL DYNAMICS CORP COM 885K 3K –
COSTCO WHSL CORP NEW COM 888K 1K –
FIDELITY NATL INFORMATION SV COM 913K 12K –
PHILIP MORRIS INTL INC COM 927K 9K –
METLIFE INC COM 937K 13K –
APPLIED MATLS INC COM 942K 4K –
FIRST TR LRGE CP CORE ALPHA COM SHS 992K 10K –
QUALCOMM INC COM 996K 5K –
COCA COLA CO COM 1M 17K –
ALTRIA GROUP INC COM 1M 23K –
SPDR SER TR BLOOMBERG 1-3 MO 1M 12K –
CISCO SYS INC COM 1M 24K –
ELI LILLY & CO COM 1M 1K –
ABBOTT LABS COM 1M 11K –
ALPHABET INC CAP STK CL C 1M 6K –
GE AEROSPACE COM NEW 1M 8K –
MERCK & CO INC COM 1M 10K –
AT&T INC COM 1M 67K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 1M 3K –
ISHARES TR CORE S&P500 ETF 1M 2K –
PEPSICO INC COM 1M 8K –
CATERPILLAR INC COM 1M 4K –
VISA INC COM CL A 1M 5K –
HOME DEPOT INC COM 1M 4K –
ISHARES TR MSCI EMG MKT ETF 1M 34K –
JOHNSON & JOHNSON COM 1M 10K –
WALMART INC COM 1M 22K –
MCDONALDS CORP COM 2M 6K –
INVESCO EXCH TRADED FD TR II NATL AMT MUNI 2M 64K –
EATON CORP PLC SHS 2M 5K –
BROADCOM INC COM 2M 989 –
EXXON MOBIL CORP COM 2M 14K –
FIDELITY COVINGTON TRUST MSCI HLTH CARE I 2M 24K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 2M 22K –
ISHARES TR GLB INFRASTR ETF 2M 36K –
CHEVRON CORP NEW COM 2M 11K –
US BANCORP DEL COM NEW 2M 44K –
PIMCO ETF TR INTER MUN BD ACT 2M 35K –
SPDR SER TR PORTFOLIO INTRMD 2M 58K –
PIMCO ETF TR ACTIVE BD ETF 2M 21K –
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 2M 34K –
JPMORGAN CHASE & CO. COM 2M 10K –
VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 2M 46K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 2M 80K –
INVESCO EXCH TRADED FD TR II S&P500 HDL VOL 2M 49K –
ISHARES TR CORE S&P SCP ETF 2M 22K –
META PLATFORMS INC CL A 2M 5K –
ISHARES TR CALIF MUN BD ETF 3M 45K –
ABBVIE INC COM 3M 15K –
PROCTER AND GAMBLE CO COM 3M 16K –
T ROWE PRICE ETF INC PRICE BLUE CHIP 3M 73K –
ISHARES TR EAFE GRWTH ETF 3M 28K –
ALPHABET INC CAP STK CL A 3M 17K –
ZACKS TRUST SMALL/MID CAP 3M 102K –
WEC ENERGY GROUP INC COM 3M 40K –
FIRST TR VALUE LINE DIVID IN SHS 3M 78K –
FIRST TR MULTI CAP GROWTH AL COM SHS 3M 27K –
ISHARES TR CORE DIV GRWTH 4M 61K –
AMAZON COM INC COM 4M 18K –
FIRST TR LRG CP VL ALPHADEX COM SHS 4M 50K –
ISHARES TR CORE S&P MCP ETF 4M 64K –
ISHARES TR CORE MSCI EAFE 5M 68K –
ISHARES TR CORE US AGGBD ET 5M 53K –
FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 7M 51K –
MICROSOFT CORP COM 8M 18K –
ISHARES TR NATIONAL MUN ETF 8M 79K –
NVIDIA CORPORATION COM 9M 73K –
ZACKS TRUST EARNGS CONSTANT 9M 319K –
FIRST TR EXCHANGE-TRADED FD MANAGD MUN ETF 10M 193K –
APPLE INC COM 10M 47K –
SPDR S&P 500 ETF TR TR UNIT 13M 24K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 23M 42K –
FIDELITY COVINGTON TRUST BLUE CHIP GRWTH 28M 660K –
FIRST TR MORNINGSTAR DIVID L SHS 33M 858K –
FIRST TR NASDAQ 100 TECH IND SHS 35M 178K –
FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 51M 611K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 94M 2M –